16th Annual Financial Markets Law Conference

INTEGRITY, EXCELLENCE AND COMPLIANCE WITHIN NZ’S FINANCIAL MARKETS

22 Oct 2020Crowne Plaza, Auckland
Event Details
  • Conference
  • Super saver price $1599 + GST
  • Super saver ends on 21 Aug
  • Last minute price $1899 + GST
  • 22 Oct 2020
  • Workshop(s)
  • Super saver price from $799 + GST
  • Super saver ends on 21 Aug
  • Last minute price from $999 + GST
  • 23 Oct 2020
separately bookable workshops
Financial advice – Decoding the code, competence, disclosure and exploring good customer outcomes:
23 October 2020 | 9:00 am - 12:30 pm

The new financial advice regime in the Financial Services Legislation Amendment Act (FSLAA) comes into force on 23 October 2020. This workshop is a last opportunity before the new rules come into effect within the Financial Markets Conduct Act 2013 (FMCA) to ensure you are prepared, or to understand why this is a big deal. The workshop will also consider the impact of the Financial Markets (Conduct of Institutions) Amendment Bill (CoFI) on financial institutions (banks, insurers and non-bank deposit takers) and their intermediaries.

  • Summary of FSLAA and how it fits into the FMCA
  • Key duties for financial advice providers (FAPs)
  • Breaking down the Code of Professional Conduct for Financial Advice Services – understanding the standards for ethical behaviour, conduct, client care, competence, knowledge and skill
  • Working with the new and more flexible disclosure regulations
  • Good conduct in financial advice, vs “no advice” models
  • Discussing changes to incentives and commissions
  • CoFI and the new licensing regime for financial institutions

Jeremy Muir

Partner

MinterEllison RuddWatts

Jeremy is the national head of the banking and financial services team for MinterEllisonRuddWatts. He is a specialist financial services and investment lawyer, working with retail and wholesale fund managers, trustee companies, banks, derivatives issuers, and FinTechs. He is deeply engaged with clients across the sector in implementing the financial advice changes, with a particular focus on good customer outcomes.

ESG – a valuable asset for your organisation in the new decade:
23 October 2020 | 1.30 pm – 5.00 pm

Today there’s a big and growing emphasis on sustainable and ethical practices around the world, and there is a recommendation to make climate-change disclosures (TCFD) for businesses a legal requirement. This workshop will elaborate on what ESG is, how it can benefit your organisation and how to incorporate better ESG to your organisation’s operations.

  • Breaking down Environmental, Social and Governance
  • How ESG disclosure benefits your organisation
  • How ESG-focused investment affects your investment performance
  • TCFD report, ESG disclosure on climate change governance, strategy, risk management and metrics & targets
  • Conducting climate related scenario analysis to establish a resilient climate change strategy
  • How the regulators will regulate and monitor ESG

Pip Best

Climate Change and Sustainability Services, NZ Leader

Ernst & Young NZ

Pip is the Leader of EY’s New Zealand Climate Change and Sustainability Services team based in Auckland.  She has provided strategic advice and assurance on climate change, sustainability and economic matters to Governments and many of New Zealand and Australia’s largest companies.  She has been a catalyst to the development of the green market, developing globally recognised green bond standards. She is also currently the secretariat for NZ’s Sustainable Finance Forum.

  • Conference
  • Super saver price $1599 + GST
  • Super saver ends on 21 Aug
  • Last minute price $1899 + GST
  • 22 Oct 2020
  • Workshop(s)
  • Super saver price from $799 + GST
  • Super saver ends on 21 Aug
  • Last minute price from $999 + GST
  • 23 Oct 2020
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